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6 天前 · This register lists (1) all licensees (ie, both licensed individuals and licensed corporations) and registered institutions under the Securities and Futures Ordinance (SFO) since the commencement of the SFO on 1 April 2003; and (2) all licensees (both licensed
6 天前 · 持牌人及註冊機構的公眾紀錄冊. 本紀錄冊載列 (1)自2003年4月1日（即《證券及期貨條例》的生效日期）起，所有《證券及期貨條例》下的持牌人（即持牌人士及法團）及註冊機構的資料；及 (2)自2023年6月1日（即《打擊洗錢及恐怖分子資金籌集條例 ...
the Securities and Futures Commission (SFC). 2. Any person carrying on regulated activities in the securities and futures markets and the non-bank retail leveraged foreign exchange market in Hong Kong has to be licensed or registered with the SFC, unless a3.
The Licensing Examination for Securities and Futures Intermediaries (LE) is a practical, market-focused examination designed for individuals pursuing careers in Hong Kong’s securities and investment industry. Under the Securities and Futures Ordinance, a single licensing regime covers 13 types of regulated activity (RA).
2019年1月31日 · 2.2 一般規定. “ 認可財務機構"指《銀行業條例》第2(1)條定義的認可機構(即銀行、有限制牌照銀行或接受存款公司)。. 若你以個人身分為你的主事人(持牌法團)就任何以業務形式進行的受規管活動執行受規管職能2,則在這種情況下,你必須是你所隸屬的 ...
1.3.6. You are licensed for Type 9 regulated activity (asset management) and you wish to carry out Type 1 (dealing in securities), Type 2 (dealing in futures contracts), Type 4 (advising on securities) and/or Type 5 (advising on futures contracts) regulated activity.
2020年11月18日 · What are the SFC license requirements? What type of SFC license do I need? Do I qualify for any exemptions from SFC licensing? When an SFC license is needed. The Securities and Futures Ordinance (" SFO ") requires firms who carry on a business in a regulated activity (" RA ") or who hold themselves out as so doing to be licensed.
2020年9月3日 · In this article, we provide an overview of SFC licensing requirements, including whether an SFC license is required, what type of SFC license is required and provide guidance on how to meet SFC license requirements.
2019年1月31日 · Securities and Futures Commission (SFC). 1.2 Any person carrying on regulated activities in the securities and futures markets and the non-bank retail leveraged foreign exchange market in Hong Kong has to be licensed or registered with the SFC, unless a
2024年9月30日 · As required by the Securities and Futures (Licensing and Registration) (Information) Rules, the SFC will not grant a licence to a corporate licence applicant unless it has provided details of its bank account information.
